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Lew Lemon

LPL Financial LLC
40 Years of Experience
Sacramento, CA
1 DisclosureBroker
View SEC Summary
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Lew Lemon is a registered investment advisor at LPL Financial LLC, based in Sacramento, CA, with 40 years of industry experience. Lew is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7770 College Town Dr, Sacramento, CA, 95826

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2014
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Lew spends about 10-20% of his time meeting with credit union members and referring them to credit union staff for traditional products. He also operates under the DBA Golden 1 Investment Services for his LPL business.

Employment History
Current Registrations
LPL Financial LLC
August 2007 - Present · 19 yrs 2 mos
LPL Financial LLC
August 2007 - Present · 19 yrs 2 mos
LPL Financial LLCBroker
August 2007 - Present · 19 yrs 2 mos
Previous Registrations
Xcu Capital Corporation, INC.
November 2002 - November 2007 · 5 yrs
Xcu Capital Corporation, INC.Broker
September 2002 - November 2007 · 5 yrs 2 mos
Financial Network Investment CorporationBroker
August 1999 - September 2002 · 3 yrs 1 mo
Round Hill Securities, INC.Broker
July 1999 - July 1999 · 0 mos
CUNA Brokerage Services, INC.Broker
March 1996 - April 1999 · 3 yrs 1 mo
Cowles, Sabol & Company, IncorporatedBroker
October 1994 - January 1996 · 1 yr 3 mos
First Interstate Investments,inc.Broker
September 1994 - September 1994 · 0 mos
Jmc Financial CorporationBroker
September 1993 - August 1994 · 11 mos
CUNA Brokerage Services, INC.Broker
February 1992 - September 1993 · 1 yr 7 mos
Security First Financial, INC.Broker
July 1991 - January 1992 · 6 mos
Essex National Securities, INC.Broker
January 1991 - July 1991 · 6 mos
Fn Investment CenterBroker
April 1988 - January 1991 · 2 yrs 9 mos
Gna Securities, INC.Broker
July 1987 - April 1988 · 9 mos
Mony Securities CORP.Broker
July 1985 - July 1987 · 2 yrs
Transinternational Securities, IncorporatedBroker
September 1984 - April 1985 · 7 mos
State Registrations18 states
AKARAZCACTFLHIILNCNMNVNYORSCTNTXUTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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